- nrg (Princeton, NJ)
- …to join our team and provide leadership on a wide range of corporate, securities , and governance matters. The role would report directly to NRG's VP, Deputy General ... & Corporate Secretary. The responsibilities will include all corporate and securities matters for a publicly traded company, including ensuring compliance with… more
- Fidelity TalentSource LLC (Covington, KY)
- …finishing your schooling or thinking about changing careers, Fidelity s Securities Industry Essentials\u00AE (SIE\u00AE) Scholar program provides you the opportunity ... the study materials and exam fee for you to sit for the Securities Industry Essentials\u00AE Exam.You will experience opportunities for engagement at various key… more
- Fidelity TalentSource LLC (Atlanta, GA)
- …finishing your schooling or thinking about changing careers, Fidelity s Securities Industry Essentials\u00AE (SIE\u00AE) Scholar program provides you the opportunity ... for the study materials and exam fee for you to sit for the Securities Industry Essentials\u00AE Exam.You will participate in a nationwide network of peers that will… more
- Fidelity TalentSource LLC (Boston, MA)
- …of cross-enterprise coordination related to our brokerage cash, margin, and securities finance products. The mission of the Interest Center of Excellence ... across balance sheet and treasury management, broker-dealer regulatory requirements, securities finance products, lending products, cash management products, client… more
- Pride Global (Columbus, OH)
- …global financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. Job title: The Service ... Desk Analyst Location: Columbus, OH Duration: 6 months Pay rate: $21.00/hour more
- Rose International (Columbus, OH)
- …and other operating units. Includes understanding topics that require insurance or securities license and registration and understands when and how to route those ... inquiries to the properly registered representative. Benefits: For information and details on employment benefits offered with this position, please visit here. Should you have any questions/concerns, please contact our HR Department via our secure website.… more
- Rose International (Columbus, OH)
- …and other operating units. Includes understanding topics that require insurance or securities license and registration and understands when and how to route those ... inquiries to the properly registered representative. Benefits: For information and details on employment benefits offered with this position, please visit here. Should you have any questions/concerns, please contact our HR Department via our secure website.… more
- Fidelity TalentSource LLC (Boston, MA)
- …equities and fixed income sales and tradingYour comprehensive understanding of securities markets, the brokerage business and applicable securities rules ... and accurate written communications to industry regulators.Sharing knowledge of securities markets and associated regulationsConducting detailed research and collaborate… more
- Dexian - DISYS (Irving, TX)
- …(In office for the first 30 days then 5 days in 5 days out)Intake notes: Securities license positionMust have series 7 certification that is active and up to date ... related complaintsThis is a production roleMust have at least 1 year of securities experienceThis is a client facing role, writing letters and having phone… more
- Amerant Bank (Coral Gables, FL)
- …their pre-established SLA times within a quality-controlled process environment. Process securities transfer in a timely manner following industry best practices. ... can include but are not limited to incoming/outgoing ACAT, delivery/receive of securities free of payment which include DTC, Government, Mutual Fund, International… more
- Fidelity TalentSource LLC (Smithfield, RI)
- …of 1940 and the Global Investment Performance Standards (GIPS)Thorough familiarity with federal securities laws, including the Securities Act of 1933, the ... Securities Exchange Act of 1934, the Investment Advisers Act of 1940, relevant portions of the Investment Company Act of 1940 and the Commodity Exchange Act and related rules.Strong practical skills and industry knowledge.Additional helpful experience… more
- Truliant Federal Credit Union (Greenville, SC)
- …goals and objectives, uses financial planning and analysis to determine appropriate securities and/or insurance products to fulfill the members' goals and objectives ... and procedures as established through the TFA program.Follows the established securities and insurance compliance guidelines, and strictly adheres to all Credit… more
- Everence (Goshen, IN)
- …training role for the position of National Sales Consultant, with relevant securities licensure to be achieved within six to twelve months of ... requiredExperience: Sales experience of 1+ years preferredExperience in the securities and/or financial services industry preferredExperience in the development of… more
- Creative Financial Staffing (New York, NY)
- …CFS New York is currently working with a Law Firm that specializes in securities fraud in Midtown Manhattan who are looking for their next Financial Analyst to ... Analyst Calculate losses from publicly traded investments under the securities laws accounting methodologies Analyze corporate insider transactions to determine… more
- Fidelity TalentSource LLC (Merrimack, NH)
- …identity theft, money laundering, wire fraud, mail fraud, check fraud, cyber-crimes, securities fraud, forgery, debit card fraud and other related regulatory or ... crime including investigations involving identity theft, cyber-crimes, financial fraud, securities fraud, money laundering and other related regulatory or criminal… more
- Fidelity TalentSource LLC (Jersey City, NJ)
- …clients (brokerage firms and investment advisors) in selling restricted / control securities for their client s pursuant to SEC regulations and insider trading ... with trading securitiesGeneral understanding of New Account proceduresUnderstanding of Securities Processing operations and Broker/Dealer Compliance policies and proceduresExperience… more
- Fidelity TalentSource LLC (Merrimack, NH)
- …approximately $2 trillion worth of assets under management, including actions cumulatively affecting securities worth in excess of $1 billion at a given time. The ... income to the Funds, resolving position differences and facilitating securities lending activities. Fidelity will reasonably accommodate associates with disabilities… more
- WSFS Bank (Wilmington, DE)
- …and file maintenance, system maintenance and transaction input, cash and securities processing, account reviews, and complete compliance and legal projects as ... communications; Knowledge and understanding of fiduciary principles; Knowledge of securities processing and clearing; Knowledge of trust/accounting systems, technology… more
- WSFS Bank (Berwyn, PA)
- …bridge loans to high net-worth individuals, loans secured by marketable securities , and provide analysis of industry, market, management, collateral, financial ... financial structures, i.eownership in multiple businessesPreferred experience underwriting marketable securities based loans and underwriting consumer loansMust have the… more
- Creative Financial Staffing (New York, NY)
- …CFS New York is currently working with a Law Firm that specializes in securities fraud in Midtown Manhattan who are looking for their next Financial Analyst to ... Analyst Calculate losses from publicly traded investments under the securities laws accounting methodologies Analyze corporate insider transactions to determine… more
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